Search results 54 items matching your search terms. Filter the results Item type Select All/None Page Material News Item Content Base Folder File opinion Collection Committee Event EasyForm Blog Post Image Link Webinar case note Bill New items since Yesterday Last week Last month Ever Sort by relevance date (newest first) alphabetically H.S. Dent Investment Management L.L.C., §5.H; Rule 109.6, 7/1/2002 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.H exemption under former Rule 109.3 [now 109.6] not available for advice provided to registered investment advisers unless such investment advisors are also ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Grubb & Ellis Company, §5.R; §6.F, 5/6/1998 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §6.F and §5.R available to exempt from securities and dealer registration the offering of options to purchase common stock of Grubb & Ellis Company (the ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Green Bay Packers, §7; §12; no action recommended, 11/4/2011 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of new stock to be issued by Green Bay Packers, Inc. The shares could not be sold or transferred, could not be ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Green Bay Packers, Inc., §7; §12; no action, 11/10/1997 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of the offer and sale of shares of the Green Bay Packers, Inc., a Wisconsin nonprofit corporation (the ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Graylor Electric Company, Inc., §5.I(b); §5.E, §7; §12; no action recommended, 10/25/2006 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of common stock to be issued under employee stock purchase plan even though stock could be purchased by Texas ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Grand Casinos, Inc., §6.F; §7; no action recommended, 10/20/1995 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §6.F available for issuance of notes by an issuer listed on NYSE. No action recommended to require registration of guarantees of such notes by issuer’s ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters General Cellular Corporation, §5.E, 8/2/1993 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.E available for rights offering to existing stockholders where no commission was paid. Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters GemStar Associates, §4.A; §7, 1/20/1993 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee GemStar Inventory Consignment Program falls within the definition of “security”; therefore, the interests in the program must be registered unless an exemption ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Gemalto N.V., §7; §12; no action recommended, 6/14/2006 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of shares to be issued by non-reporting foreign corporation in exchange for shares issued by reporting foreign ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Credit Suisse First Boston Capital LLC, §12; No Action Recommended, 4/12/2001 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Dealer registration required for a company operating an OTC derivatives business effecting transactions through registered dealer affiliated with the company. Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters 1 2 3 4 5 6 Next 10 items > Subscribe to an always-updated RSS feed.